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Securities Arbitration Lawyers

, National practice, where permitted, limited FINRA securities arbitration claims against stockbrokers and investment professionals for fraud, the sale of unsuitable securities, negligence, breach of fiduciary duty and the failure to supervise. Contingent fee. Free Consultation.  Learn More.
Think you've been the victim of Investment Fraud? Please give us a call for a free initial consultation!
Toll Free: (877) SEC-ATTY (877-732-2889)
International: (215) 413-8223

Representation accepted on a contingent fee basis.
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Securities Class Action Clearing House
  The Securities Class Action Clearinghouse provides detailed information relating to the prosecution, defense, and settlement of federal class action securities fraud litigation. The Clearinghouse maintains an Index of Filings of 3010 issuers that have been named in federal class action securities fraud lawsuits since passage of the Private Securities Litigation Reform Act of 1995. The Clearinghouse also contains copies of more than 31,200 complaints, briefs, filings, and other litigation-related materials filed in these cases.
Public Investors Arbitration Bar Association
  PIABA is a national bar association with strict membership requirements. PIABA was established in 1990 as an educational and networking organization for securities arbitration attorneys who represent the public investor in securities disputes. The mission of PIABA is to promote the interests of the public investor in securities and commodities arbitration by protecting public investors from abuses in the arbitration process, such as those associated with document production and discovery; making securities and commodities arbitration as just and fair as systematically possible; and creating a level playing field for the public investor in securities and commodities arbitration.
Financial Industry National Regulatory Authority
  The Financial Industry Regulatory Authority (FINRA), formerly NASD Regulation, Inc. and the New York Stock Exchange), is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,800 brokerage firms, about 173,000 branch offices and approximately 647,000 registered securities representatives.
Arbitration Award Database
  FINRA's Arbitration Awards database enables users to perform Web-based searches for FINRA and historical NASD arbitration awards free of charge, seven days a week. Also available through the site are historical awards for New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, and the Municipal Securities Rulemaking Board.
Investigate Before You Invest
Before you invest learn if your broker or the brokerage firm with whom they are associated have been the subject of stockbroker fraud claims, disciplinary actions, or regulatory action for securities fraud, investment fraud, the violation of the federal securities laws. Learn if your broker or their brokerage firm been the subject of customer initiated, investment related stockbroker fraud complaints or securities arbitration proceedings. Learn whether NASD Regulation, Inc., or the New York Stock Exchange, now FINRA (Financial Industry Regulatory Authority) has ever brought an action against your broker for the violation of its rules. Find out which brokerage firms your broker has been previously associated, and whether these brokerage firms have been expelled or disciplined by securities regulators for investment fraud.
Securities Arbitration Law Blog 
  Lawyers Tempt Fate Before Second Circuit and No One Likes What They May Get  -  Last year, a Connecticut based hedge fund, Turnberry C...
  FINRA tries to be less than a day late and a dollar short  -  Reuters announced today that while it did not publiciz...
  A Glaring Look at Financial Fraud in the United States  -  The National Center for Victims of Crime released a re...
  FINRA Says: Don’t get Smoked by Dope Stocks: Lay-off the Weed  -  The Financial Industry Regulatory Authority or FINRA i...
  US Third Circuit Court of Appeals: You should have known better than to trust FINRA.  -  Investors seeking to recover their damages as a result...
  US Third Circuit Court of Appeals: You should have known better than to trust FINRA.  -  Investors seeking to recover their damages as a result...
  Cockroaching, More Than 5,000 Stockbrokers From Expelled Firms Still Selling Securities  -  The pattern of brokers moving from one problem firm to...
  Cockroaching, More Than 5,000 Stockbrokers From Expelled Firms Still Selling Securities  -  The pattern of brokers moving from one problem firm to...
  Stockbroker to the Stars, Bambi Holtzer, has been suspended FINRA  -  Beverly Hills stockbroker, Bambi Holzer, who wrote boo...
  Pennsylvania Securities Commissioner Fines Wall Street Financial Group $125,000 Bars Broker For Life  -  Wall Street Financial Group, Inc. of Fairport, New Yor...
View More >>

Investment Literature
Essential Project Investment Governance and Reporting: Preventing Project Fraud And Ensuring Sarbanes-Oxley Compliance

Essential Project Investment Governance and Reporting: Preventing Project Fraud And Ensuring Sarbanes-Oxley Compliance

Scam Artists and Seniors: How to Protect Yourself and Those You Love From Investment Fraud

Scam Artists and Seniors: How to Protect Yourself and Those You Love From Investment Fraud


Latest Securities News From The Web 
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